CSI will be performing system maintenance on Saturday May 11th from 5 a.m. until 1 p.m. ET. You will not have access to your “myCSI” student account, nor will you be able to book, cancel or reschedule exams during this time. You can still access your online course materials by visiting connect.csi.ca then connecting to “Blackboard Learn”.

What is the course syllabus?

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Lesson 1: Background on Vulnerable Clients

Topics covered in this chapter are:

  • Introduction
  • Regulatory Objectives and Initiatives
  • Common Types of Infractions

Lesson 2: Compliance Considerations when Dealing with Vulnerable Clients

Topics covered in this chapter are:

  • CFRs as they Apply to Vulnerable Clients
    • Know Your Product (KYP)
    • Know Your Client (KYC)
    • Suitability
    • Relationship Disclosure
  • Powers of Attorney
  • Communication to Vulnerable Clients
  • Marketing and Advertising to Vulnerable Investors
    • Misleading Communications

Lesson 3: Detecting and Preventing Exploitation

Topics covered in this chapter are:

  • Introduction
  • Red Flags
    • Financial Exploitation
    • Powers of Attorney
    • Diminished Capacity
      • Example
  • Trusted Contact Person
  • Temporary Holds and “Safe Harbour”

Lesson 4: Note taking and Documentation

Topics covered in this chapter are:

  • Introduction
  • Note Taking and Documentation
  • Consequences of Noncompliance